DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Departures from 1st Global Advisors Inc
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Stacy Ann Wells | 1st Global Advisors Inc BD affiliated | Frost Investment Services BD affiliated | Affiliated broker-dealer or bank to another | Jul 31, 2019 | Sep 5, 2019 (36 d) |
| Jeanne Yi Lee Duce | 1st Global Advisors Inc BD affiliated | Jd Financial Fitness LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 30, 2019 | Jul 19, 2019 |
| Aaron Anton Milne | 1st Global Advisors Inc BD affiliated | Lincoln Investment BD affiliated | Affiliated broker-dealer or bank to another | Jul 11, 2019 | Jul 16, 2019 |
| William Joseph Cunningham | 1st Global Advisors Inc BD affiliated | Pinnacle Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 5, 2019 | Jun 7, 2019 |
| Joseph B Johnson | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 3, 2019 | Jun 11, 2019 |
| Todd Henry Van Bruggen | 1st Global Advisors Inc BD affiliated | Mariner Wealth no RAUM | Other | Mar 19, 2019 | Oct 23, 2019 (218 d) |
| Russell James Pixler | 1st Global Advisors Inc BD affiliated | Mariner independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 12, 2019 | Mar 15, 2019 |
| Cindy Shiu Hing Mercado | 1st Global Advisors Inc BD affiliated | Voya Financial Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Mar 1, 2019 | Mar 8, 2019 |
| James A Franklin | 1st Global Advisors Inc BD affiliated | Cetera Advisor Networks LLC BD affiliated | Affiliated broker-dealer or bank to another | Feb 11, 2019 | Feb 8, 2019 |
| Brent Edwin Shepherd | 1st Global Advisors Inc BD affiliated | Beacon Wealth Management, LLC unclassified | Other | Feb 8, 2019 | Jan 15, 2009 |
| Cindy Kay Day | 1st Global Advisors Inc BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2019 | Feb 6, 2019 |
| Kristen Deanne Shepherd | 1st Global Advisors Inc BD affiliated | Wealthcare Advisory Partners LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Feb 8, 2019 | Feb 6, 2019 |
| Robert Rosado | 1st Global Advisors Inc BD affiliated | Usaa Investment Services Company BD affiliated | Affiliated broker-dealer or bank to another | Jan 23, 2019 | Apr 8, 2019 (75 d) |
| Michael Stieglitz | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| Natacha Tania Smith | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| Tamaris Conkleton | 1st Global Advisors Inc BD affiliated | H. Beck, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 31, 2018 | May 23, 2019 (143 d) |
| Joseph Reed | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| James J Caristia | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 7, 2019 |
| David Henderson | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| Michael Joseph Wade | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 8, 2019 |
| Andrew Joseph Grant | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 31, 2018 | Jan 3, 2019 |
| Karen Yvonne Holmes | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2018 | Dec 19, 2018 |
| Alvin Clifford Hailstorks | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 20, 2018 | Dec 19, 2018 |
| Noboru Muto | 1st Global Advisors Inc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 18, 2018 | Dec 14, 2018 |
| Brian Lee Smith | 1st Global Advisors Inc BD affiliated | Wealth Watch Advisors, Inc independent RIA | Affiliated broker-dealer or bank to independent RIA | Dec 11, 2018 | Nov 18, 2020 (708 d) |
| Cynthia Elizabeth Shelton | 1st Global Advisors Inc BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Dec 6, 2018 | Dec 5, 2018 |
| Cherie D Putman | 1st Global Advisors Inc BD affiliated | Putman Capital Management, Inc. state registered | Affiliated broker-dealer or bank to a state-registered adviser | Nov 16, 2018 | Sep 26, 2005 |
| Katherine Carmichael Morosani | 1st Global Advisors Inc BD affiliated | Edward Jones national BD | Affiliated broker-dealer or bank to another | Nov 5, 2018 | Nov 16, 2018 |
| Matthew Blair Burk | 1st Global Advisors Inc BD affiliated | Securities America Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 19, 2018 | Nov 14, 2018 |
| Jesse L Perry | 1st Global Advisors Inc BD affiliated | T. Rowe Price Advisory Services, Inc. independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 11, 2018 | Jan 3, 2019 (84 d) |
| Brittney Erin Kolesar | 1st Global Advisors Inc BD affiliated | Ares Financial Consulting LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Oct 8, 2018 | Mar 4, 2026 (2704 d) |
| Erik George Ford | 1st Global Advisors Inc BD affiliated | Cambridge Investment Research Advisors, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 4, 2018 | Oct 1, 2018 |
| Colin Flinn Gorman | 1st Global Advisors Inc BD affiliated | Egp Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 4, 2018 | Apr 30, 2024 (2035 d) |
| Lindsey Leigh Baker | 1st Global Advisors Inc BD affiliated | Egp Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 4, 2018 | Oct 16, 2018 |
| Angela Yvette Frazier | 1st Global Advisors Inc BD affiliated | Egp Wealth Management, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Oct 3, 2018 | Oct 16, 2018 |
| Scott Steven Brown | 1st Global Advisors Inc BD affiliated | Osaic Wealth, Inc. BD affiliated | Affiliated broker-dealer or bank to another | Oct 2, 2018 | Sep 21, 2018 |
| Brian Dale Trowbridge | 1st Global Advisors Inc BD affiliated | Level Four Advisory Services BD affiliated | Affiliated broker-dealer or bank to another | Sep 25, 2018 | Sep 21, 2018 |
| Michael Jacob Thomas | 1st Global Advisors Inc BD affiliated | Rlb Financial independent RIA | Affiliated broker-dealer or bank to independent RIA | Sep 17, 2018 | Sep 18, 2018 |
| Scarlet R Filmore | 1st Global Advisors Inc BD affiliated | Ameriprise Financial Services, LLC national BD | Affiliated broker-dealer or bank to another | Sep 4, 2018 | Sep 12, 2018 |
| Holly P. Peritz | 1st Global Advisors Inc BD affiliated | J.P. Morgan Securities LLC wirehouse | Affiliated broker-dealer or bank to wirehouse | Aug 1, 2018 | Aug 13, 2018 |
| Kelon Carter Hall | 1st Global Advisors Inc BD affiliated | LPL Financial LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2018 | Jul 31, 2018 |
| Mary Lauren Santini | 1st Global Advisors Inc BD affiliated | United Capital Financial Advisors independent RIA | Affiliated broker-dealer or bank to independent RIA | Aug 1, 2018 | Aug 20, 2018 |
| Michael Otto Kurz | 1st Global Advisors Inc BD affiliated | Overshare state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jul 26, 2018 | Mar 1, 2019 (218 d) |
| William Anthony Hodapp | 1st Global Advisors Inc BD affiliated | Surevest Private Wealth independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 26, 2018 | Oct 26, 2020 (853 d) |
| Ronald H. Dawson, Jr. | 1st Global Advisors Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | Jun 21, 2018 | Jun 20, 2018 |
| Jared Thomas Walsh | 1st Global Advisors Inc BD affiliated | Reservoir Wealth Management independent RIA | Affiliated broker-dealer or bank to independent RIA | Jun 19, 2018 | May 14, 2018 |
| Glenn Stuart Logan | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 | Mar 26, 2018 |
| Dawn Ellen Filliatreault Wood | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 | Mar 19, 2018 |
| David Paul Disanto | 1st Global Advisors Inc BD affiliated | Bentley Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 12, 2018 | Jun 12, 2018 |
| Frank Thomas Sciuto | 1st Global Advisors Inc BD affiliated | Bentley Wealth Advisors, LLC other | Other | Jun 12, 2018 | Jun 25, 2003 |
| Bradley Steven Bechok | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 | Mar 26, 2018 |
| James Gerard Couch | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 | Mar 19, 2018 |
| Christopher J Ricci | 1st Global Advisors Inc BD affiliated | Briggs Advisory Group, Inc. no RAUM | Affiliated broker-dealer or bank to a newly registered adviser | Jun 12, 2018 | Mar 19, 2018 |
| Peter Michael Gervais | 1st Global Advisors Inc BD affiliated | Bentley Wealth Advisors, LLC state registered | Affiliated broker-dealer or bank to a state-registered adviser | Jun 12, 2018 | Aug 3, 2018 (52 d) |
| David Alan Flanders | 1st Global Advisors Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 11, 2018 | May 11, 2018 |
| Ryan Matthew Flanders | 1st Global Advisors Inc BD affiliated | Commonwealth Financial Network national BD | Affiliated broker-dealer or bank to another | May 11, 2018 | May 15, 2018 |
| Gianluca Triennese | 1st Global Advisors Inc BD affiliated | Pnc Managed Account Solutions, Inc. BD affiliated | Affiliated broker-dealer or bank to another | May 9, 2018 | May 21, 2018 |
| Lee-Ann Hodapp | 1st Global Advisors Inc BD affiliated | Wells Fargo Advisors wirehouse | Affiliated broker-dealer or bank to wirehouse | Apr 19, 2018 | Apr 18, 2018 |
| Felisha Marie Pullen | 1st Global Advisors Inc other | Schwab Wealth Advisory, Inc. no RAUM | Other | Mar 29, 2018 | Sep 29, 2025 (2741 d) |
| Gene Alvin Brehm | 1st Global Advisors Inc other | Saxony Capital Management, LLC independent RIA | Other | Feb 5, 2018 | Feb 21, 2018 |
456 moves match.